benefactors, and thus weakened the prevention of improper client activities. Under such circumstance, if a client committed any wrongdoing, the company could be deemed to have supported or participated in such

specified qualifications.The proposed revision aims to provide an opportunity for intermediaries to deposit or invest clients? assets under their custody in more types of low-risk, high-liquidity products

Bangkok, May 15, 2012 - ?The SEC wishes to invite investors and interested persons to visit our booth at Money Expo 2012. Presented under the theme ?20 Years of Commitment to Market Confidence,? the

in the capital market. Under the draft regulation, business operators in the capital market will be required to set up independent compliance unit with sufficient personnel while head of compliance

differences between indirect investment through property sector fund and direct investment in property fund established and managed in Thailand (Thai property fund). Under the proposed regulations, property

), which is punishable under Section 274. In addition, the responsible management may be liable to punishment as prescribed by law. The SEC shall consider further legal action in due course

attempt to promote derivatives market development. The plan followed the Cabinet?s recent approval for inclusion of silver and platinum on the SEC list of 14 approved goods and variables under the

referred to the SEC have been under investigation so that the SEC cannot disclose any details thereof. In practice, if unable to seek sufficient evidence in certain circumstances, the SEC will seek

Bangkok, May 31, 2011 - The SEC will revise regulations on taking custody of client?s assets by securities company and derivatives broker in response to upcoming reduction of protected deposit under

lapse on January 24, 2011 while the case is still under the DSI?s consideration. As the case involves a number of witnesses and evidence, it is unlikely to be able to bring the case onto court within the